Raymond J. Norton

NORTON CAPITAL MANAGEMENT

NORFOLK, VA 23510-2760

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CRD#: 824776

Professional summary

Raymond John Norton is a registered financial advisor currently at NORTON CAPITAL MANAGEMENT, INC. located in Norfolk, Virginia.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Raymond has worked at 7 firms and has passed the Series 65, Series 63, Series 5, PC, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond John Norton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 13, 1993 - Present

NORTON CAPITAL MANAGEMENT, INC.

Office #1: 440 Monticello Avenue Suite 1610, Norfolk, VA 23510-2760

RIA

CRD#: 110398

NORFOLK, VA

Past

November 13, 2000 - December 31, 2006

B. C. ZIEGLER AND COMPANY

CRD#: 61

NORFOLK, VA

Past

September 29, 2000 - November 22, 2000

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

June 28, 1993 - October 25, 2000

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

April 11, 1988 - July 12, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 10, 1978 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

July 22, 1976 - May 22, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTON CAPITAL MANAGEMENT, INC.

NORTON CAPITAL MANAGEMENT INC | NORTON CAPITAL MANAGEMENT, INC.

CRD#: 110398 / SEC#: 801-111866

RIA

Registered Investment Advisory firm - (10/13/2017 Approved)

North Carolina

Registered Investment Advisory firm - (12/11/2017 Terminated)

Texas

Registered Investment Advisory firm - (12/11/2017 Terminated)

Virginia

Registered Investment Advisory firm - (12/11/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(7/13/1993)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/8/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/20/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 10/11/1978

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 7/17/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/7/2000

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/17/1993

General Securities Principal Examination

Current Firm

NORTON CAPITAL MANAGEMENT, INC.

NORTON CAPITAL MANAGEMENT INC | NORTON CAPITAL MANAGEMENT, INC.

CRD#: 110398 / SEC#: 801-111866

RIA

Registered Investment Advisory firm - (10/13/2017 Approved)

North Carolina

Registered Investment Advisory firm - (12/11/2017 Terminated)

Texas

Registered Investment Advisory firm - (12/11/2017 Terminated)

Virginia

Registered Investment Advisory firm - (12/11/2017 Terminated)

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Contact information

Main Address

440 Monticello Avenue Suite 1610, Norfolk, VA 23510-2670

Mailing Address

Phone number

(757) 623-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (12/26/2024)

Regulatory assets under management

Total Number of Accounts	294
AUM (Assets Under Management)	$ 132,931,862

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/05/2025	Cover Page	Report
09/09/2024	Cover Page	Report
09/06/2023	Cover Page	Report
01/13/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Raymond J. Norton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond John Norton's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. C. ZIEGLER AND COMPANY

FIRST ALLIED SECURITIES, INC.

D.E. FREY & COMPANY, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

NORTON CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/1991

Series 63

Date: 6/19/1980

Series 5

Date: 10/20/1981

PC

Date: 10/11/1978

Series 7

Date: 7/17/1976

Series 53

Date: 6/7/2000

Series 24

Date: 12/17/1993

Current Firm

NORTON CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTON CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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